Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund

securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office

กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง

to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a

oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations

is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

, the Office of the Securities and Exchange Commission hereby notifies that 6 July 2009 has been set as a special holiday for securities companies and derivatives business operators. Notified this 11th

, whether operating as a holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and